ISSUE BRIEFING

1
ISSUE BRIEFING

• ETHICS IN THE WORKPLACE
• Developed by the Internal Audit Department
• Presented by
• The Office of the Chancellor
• April 2008

2
Ethics in the Workplace

• What is Ethics?
• Ethics can be defined as written and unwritten
  codes of principles and values that govern
  decisions and actions within an organization.
• Ethics is concerned with what is right or wrong,
  good or bad, fair or unfair, responsible or
  irresponsible, obligatory or permissible,
  praiseworthy or blameworthy.

3
Ethics in the Workplace

• Ethical Decision Making
• Ethics boils down to knowing the difference
  between right and wrong and choosing to do what
  is right.

4
Ethics in the Workplace

• Employees Ethics
• UW System has set standards for determining the
  difference between good and bad decision making
  and behavior.

5
Ethics in the Workplace

• Employee Ethics
• These codes of ethics are designed to prevent
  conflicts between an employee's private interests
  and public responsibilities.

6
Ethics in the Workplace

• Employee Ethics
• Public officials
• The standards for UW System employees who are
  state public officials are found in
• Ch. 19.41 of the Wisconsin Statutes.
• Unclassified employees
• The rules for unclassified employees (generally
  faculty and academic staff employees) are in Ch.
  UWS 8, Wisconsin Administrative Code.

7
Ethics in the Workplace

• Employee Ethics
• Classified employees
• The rules for classified employees (generally
  most other UW System employees) are in
• Ch. ER-MRS 24, Wisconsin Administrative Code.

8
Ethics in the Workplace

• Conflicts of Interest
• Acceptance of items of value
• Use of public position or state property or
• university resources
• Absence from regular duties for the purpose
• of engaging in outside activity
• Confidentiality
• Awarding contracts
• Partiality
• Personal conduct

9
Ethics in the Workplace

• Acceptance of Items of Value
• Employees should not accept items of value from a
  person or organization that might lead to an
  express or implied understanding or perception
  that their conduct of university business could
  be influenced.

10
Ethics in the Workplace

• Acceptance of Items of Value
• When an employee is acting as an official
  representative of the UW, fees, honoraria and
  expenses reimbursed by non-UW sources must be
  deposited into university accounts.

11
Ethics in the Workplace

• Acceptance of Items of Value
• Employees are allowed to keep compensations
  (fees, honoraria and expenses) from
  permitted/approved outside activities.

12
Ethics in the Workplace

• Acceptance of Items of Value
• Employees cannot accept the following from
  vendors or prospective vendors
• Gifts, including birthday, holiday or other
• Meals
• Entertainment
• Travel costs

13
Ethics in the Workplace

• Acceptance of Items of Value
• The same rule regarding acceptance of items of
  value applies to members of employees immediate
  family or household.

14
Ethics in the Workplace

• Acceptance of Items of Value
• Employees should not accept gifts, including
  birthday or holiday gifts, gift baskets, etc.,
  from vendors or prospective vendors.

15
Ethics in the Workplace

• Acceptance of Items of Value
• Employees should not accept lunch, other meals,
  or entertainment from vendors or prospective
  vendors.

16
Ethics in the Workplace

• Acceptance of Items of Value
• Employees should not accept vendor-paid travel.

17
Ethics in the Workplace

• Acceptance of Items of Value
• Employees may accept items of minimal value,
  e.g., pens, mugs, etc.

18
Ethics in the Workplace

• Use of Public Position
• Employees may not use or attempt to use their
  public positions to gain anything of value for
  private benefit to themselves, their families, or
  organizations in which they have a significant
  financial interest.

19
Ethics in the Workplace

• Use of University Resources
• University resources such as computers, e-mail
  accounts, office supplies, cell phones, meeting
  rooms and work time should be used only for
  university purposes.
• Policies on use of university information
  technology resources can be found at
• http//uwex.uwc.edu/it/policies/use.cfm

20
Ethics in the Workplace

• Use of University Resources
• Lobbying, legislative advocacy and other
  political activities must never be done on state
  time or with state resources
• http//www.uwsa.edu/govrel/camprule.htm

21
Ethics in the Workplace

• Outside Activities
• Employees should follow standards on absence from
  university duties in relation to outside
  activities
• Seek approval from their dean or director
• Report activities that may result in conflict
• of interest
• Ensure that activities do not interfere with
• job performance

22
Ethics in the Workplace

• Outside Activities
• Unclassified employees must
• Report, in writing, their involvement in
  outside
• activities every April 30
• http//www.uwsa.edu/bor/policies/rpd/rpd20-7.ht
  m
• Discuss with their dean, director or the
• chancellor any activities that may present
• carryover questions of conflict with job
• responsibilities during their contract period

23
Ethics in the Workplace

• Confidentiality
• Many UW records are covered by laws or policies
  requiring confidentiality such as
• Student records Family Educational Rights and
  Privacy Act (FERPA) http//www.uwsa.edu/gc-off/
  deskbook/
• ferpa.htm
• Medical Privacy -- National Standards to Protect
  the Privacy of Personal Health Information
• http//www.hhs.gov/ocr/hipaa/

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Ethics in the Workplace

• Confidentiality
• Employees may not use or disclose university
  records or information outside of the exercise of
  their job responsibilities.
• Employee responsibilities with public records can
  be found at
• http//www.uwsa.edu/bor/policies/rpd/rpd3-2.htm

25
Ethics in the Workplace

• Awarding Contracts
• Only certain designated individuals have the
  authority to legally bind UW Colleges/
• UW-Extension in contracts
• http//www.uwsa.edu/bor/policies/rpd/rpd13-3.htm
• http//www.uwsa.edu/fadmin/gapp/gapp8.htm
• For more information about awarding contracts,
  contact Business Services.

26
Ethics in the Workplace

• Partiality
• Nepotism
• Employees may not formally or
• informally participate in the decision to
• hire or promote a member of their
• immediate family
• http//www.uwsa.edu/gc-off/deskbook/ethics.htm

27
Ethics in the Workplace

• Partiality
• Personal relationships
• Employees should disclose personal relationships,
  if needed, so that actions can be taken to
  minimize or remove any potential conflict of
  interest.

28
Ethics in the Workplace

• Personal Conduct
• The code for employees personal conduct
  prohibits
• Falsifying records or giving false
• inaccurate or incomplete information
• Negligence in performance of
• assigned duties
• Unexcused or excessive
• absenteeism

Breach of Fiscal Integrity (F16) http//www.uwsa.
edu/fadmin/ fppp/fppp16.htm
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Ethics in the Workplace

• Personal Conduct
• While reasonable and necessary
• expenses for proper and efficient program
  administration are allowable, employees should
  consider responsibilities to the institution, the
  granting agency and the
• public at large when incurring costs.

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Ethics in the Workplace

• Questions
• When in doubt about any ethical issue, employees
  should talk to their supervisor.

31
Ethics in the Workplace

• Additional Contacts
• David Prucha
• Director, Human Resources
• UW Colleges and UW-Extension
• 608/262-0826
• david.prucha_at_uwex.uwc.edu
• Connie Wali
• Internal Auditor
• UW Colleges and UW-Extension
• 608/263-7810
• connie.wali_at_uwex.edu

Laura DunekAssociate System Legal CounselUW
System Administration 608/262-0747ldunek_at_uwsa.edu

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Ethics in the Workplace

• Additional Resources
• Codes of Ethics for Employees of the University
  of Wisconsin System www.uwsa.edu/gc-off/deskbook/
  ethics.htm
• University of Wisconsin System Policy on
  Institutional and Employee Relationships with
  Educational Loan Lenders www.uwsa.edu/bor/policie
  s/rpd/rpd13-5.htm
• This document can be found at
• www.uwex.uwc.edu/hr and
• www.uwex.uwc.edu/audit/issues/ethics